Wealth Management
Navigate SEC, FINRA, and state regulations while building trust and client relationships.
Scalable wealth management automations
AI-powered solutions that transform manual compliance into intelligent, automated processes.
Document Intelligence
Extracts and standardizes data from compliance documents, regulatory filings, and internal memos automatically.
Risk Management
Provides automated validation, monitoring, and documentation for all risk models.
Workflow Automation
Ensures consistent compliance processes with built-in audit trails.
Gap Analysis
Identifies regulatory blind spots before examiners do.
Purpose-built for wealth management
End-to-end compliance management across all critical areas for wealth management companies.
Automated SEC, FINRA, and state regulation monitoring with real-time compliance validation.
Streamlined client onboarding with automated KYC and suitability assessments.
Automated portfolio monitoring with compliance-driven rebalancing recommendations.
Real-time trading compliance monitoring with automated violation detection.
Automated client communication with compliance-validated messaging.
Automated regulatory reporting and client disclosure management.
Comprehensive wealth management programs
Manage all your wealth management compliance programs from one platform. Track client onboarding, investment due diligence, portfolio management, and regulatory reporting with automated workflows.
Enterprise Risk Assessment Program
Metadata
Wealth management regulatory knowledge base
Access comprehensive wealth management regulations, SEC requirements, FINRA guidance, and industry best practices. Stay current with regulatory changes and maintain compliance across all jurisdictions.
Documents
AI-powered wealth management analysis
Get intelligent insights into your wealth management compliance status, client onboarding efficiency, and investment due diligence processes. Our AI analyzes complex regulations and provides actionable recommendations.
Wealth Management Compliance Assessment
Based on my analysis of your wealth management operations against current regulatory requirements, your organization demonstrates strong client service quality with specific areas requiring enhanced SEC compliance controls.
Client Onboarding
Reference: Your Onboarding Policy Section 2.1, Page 6
SEC Compliance Controls
Gap: Missing enhanced monitoring per SEC guidance
Investment Due Diligence
Reference: Your Investment Policy Section 3.2, Page 9
Automated wealth management workflows
Streamline your wealth management processes with intelligent workflow automation. Create custom workflows for client onboarding, investment due diligence, portfolio management, and regulatory reporting.
Audit & Reporting Workflow Generator
Select reporting documents and choose a workflow to generate audit readiness insights
Generate a concise summary of selected documents
Compare requirements across multiple documents
Identify regulatory compliance gaps and missing requirements
Generate content using predefined templates
Selected Documents (4)
Workflow Preview
Identify regulatory compliance gaps and missing requirements
Compliance Technology Specialists
More than just a technology platform, we're also data and software experts with hands-on experience in banking and fintech. From custom integrations to tailored AI workflows, we build tools to empower and scale your compliance team.